code: #edf european defence fund (edf)

#EUDefenceIndustryEuropean Union

- INFO DAY 2021EUROPEAN DEFENCE FUND

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European Defence Fund (EDF)Information Day focused on 2021 Calls for proposals

15 September 2021 – Broadcast from Brussels

Directorate-General for

Defence Industry and Space



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Welcome & Introduction

François ARBAULT - Director for Defence industry at DG DEFIS

Opening remarks by Timo PESONEN - Director General for Defence

Industry and Space



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code: #EDFInfo Day – Agenda

09.00-09.30Welcome & Introduction

Opening remarks (Timo Pesonen - Director General of DG DEFIS)

09.30-09.35 Sli.do procedure (event code: #EDF)

09.35-09.50 Key principles of the EDF Regulation

09.50-10.35Overview of EDF 2021 calls for proposals

Q&A

10.35-10.45 Break

10.45-12.30Evaluation of the proposals and Grant agreements preparation

Q&A

12.30-14.00 Lunch break

14.00-15.00Costs and financial aspects

Q&A

15.00-15.10 Break

15.10-16.55Preparation of proposals and submission process

Q&A

16.55-17.15 Concluding remarks and wrap-up



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Sli.do procedure

Monique IDIRI



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• From your laptop or desktop go to slido.com and enter the Event code: #EDF

• Or scan directly this QR code with your smartphone

SLIDO for questions and survey

and/or

Send questions anytime Survey

https://www.sli.do/



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Key principles of the EDF Regulation

Michael ALCANTARA



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President Junker’s declaration on EU defence

EU Global Strategy

EU DefenceAction Plan

Precursor programmes

EDF negotiations

European Defence Fund: background

2015 2016 2017 2018 2019 2020 2021

EDF Regulation

(EU) 2021/697

29 April 2021



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2017

2018

2019

2020

2021

Paving the way for the European Defence Fund

EDF

June 2018: Proposal adopted by

the Commission

Partial agreement found

27.02.2019 Council

18.04.2019 Parliament

EDIDP

18 July 2018 Adoption by

European Parliament and the

Council

Calls 2019: 9 April 2019

PADR

Calls 2017: 7 June 2017

Calls 2018: 15 March 2018

Calls 2019: 19 March 2019

29 April 2021 Adoption by

European Parliament and the

Council

Calls 2021: 30 June 2021

Calls 2020: 15 April 2020

44 projects awarded18 projects awarded



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• Continuity with precursors but a step change in

means and ambition:

Four times higher annual budget

Integrated research (R) and development (D) windows

Balance: cooperation/competition & large

capabilities/innovation

• Open for EEA countries (Norway is associated)

• Security-based participation conditions for third

countries controlled entities

The European Defence Fund: key facts

2017 2018 2019 2020 2021 2022 2023 2024 2025 2026 2027

PADR

EDIDP R

D

R

D

R

D

R

D

R

D

R

D

R

D

Precursors

European Defence Fund7 years

~EUR 8 billion

1/3 Research – 2/3 Development

Annual work programmes

EUR 500 million

EUR 90 million



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• Supports collaborative and cross-border projects in research and development on

defence technologies and capabilities

• Contributes to the competitiveness and innovation capacity of the EDTIB, including by

encouraging participation of SMEs and other actors that are usually not active in the

defence domain

• Contributes to reducing fragmentation of the Europe defence and industrial landscape

• Helps maximising the outcome of defence expenditure (i.e. spending more, better and

together)

• Strengthens Europe’s resilience and its strategic autonomy, notably by reducing EU

technological dependencies on third countries

The European Defence Fund: general objectives



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• Demand is mainly driven by the Member States

• Need to be selective

• Complementarity and consistency with priorities commonly agreed by Member States and other EU defence initiatives and NATO

• Need to target projects that bring real strategic and economic benefit for Europe, are game changers for EU armed forces and would not materialise if not undertaken jointly

• Need to ensure continuity of already funded and completed actions

• Important for EDF to be inclusive and to offer fair opportunities for companies of all sizes from all Member States and associated countries

• Support to innovation: 4%-8% of the EDF budget must be dedicated to disruptive technologies

• Seek synergies with other EU programmes: avoid unnecessary duplications in funding and trigger cross-fertilisation

• No EDF support for actions that lead to defence capabilities prohibited by international law

The European Defence Fund: general principles



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• Annual work programmes and calls for proposals

• Double comitology: Programme Committee to give opinion on the annual work

programme to be adopted by the Commission and on the selection of projects to be funded

following the calls for proposals

The European Defence Fund: life cycle

Work programme

Calls for proposals

Submission of proposals

Selection of projects

Grant agreements

Year N-1 Year N Year N+1

Adoption of the

financing decision

Adoption of the

award decision

To be

signed

before end

N+1



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EDF

PESCO

CDP CARD

Articulation with other EU initiatives and programmes

• EDF annual Work programmes informed by:

• Capability Development Plan (CDP):

consistency with commonly agreed priorities

• Coordinated Annual Review on Defence

(CARD): opportunities for collaborative R&D

• Permanent Structured Cooperation

(PESCO) projects

• Synergies and complementarity with other

EU programmesMS

co-financing & planning

Other EU

programmes



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Overview of EDF 2021calls for proposals

Marco DETRATTI & Stella OLDENBURGER



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code: #EDFEDF 2021 Work Programme structureTotal budget

€1.2 billion

23 calls for proposals

37 topics (R+D)

Submission deadline

9 December 2021

15 categories of

actions



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code: #EDFEDF 2021 Budget breakdown overview



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• Naming convention: EDF-2021-Category of action acronym-R/D-Topic name acronym

• Each call includes one or more topics to be covered by the call budget

• Each proposal shall be submitted against one topic

• Each topic structured in sections

o Specific Challenge: context setting and description problem/shortfall to be

solved/addressed (capability, technology, operational,…)

o Scope

o Targeted Activities (*)

o Functional requirements

o Expected Impact

EDF 2021 Calls structure

(*) Article 10(3) of EDF regulation: a) generating knowledge;

b) integrating knowledge; c) studies; d) design; e) prototyping;

f) testing; g) qualification; h} certification; i) increasing

efficiency

Mandatory(+) (i.e. Action eligibility)

(+) Unless otherwise specified in the section

Compliance evaluated in award criteria



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Scope:

• Main expected action outputs

• Other high level specificities (e.g. max duration, subsystems to be included, operational environment,

technologies to be considered, targeted platforms….)

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Targeted activities

Upstreamactivities

Downstreamactivities

Targeted Activities:

• Specific selection per topic (and type of action) among those listed

in Article 10(3) of EDF regulation

• Specific deliverables/tasks/implementation options: e.g. specific

deliverables/tasks (e.g. CONOPS/architecture definition),,

implementation of demonstrators, targeted prototypes, definition of

the type of testing,….

• Optional upstream or downstream activities (when specified): only

taken into account in award criteria (NO ELIGIBILITY)

EDF 2021 Topics: Mandatory parts

a) Generate Knowledge

b) Integrate Knowledge

c) Study

d) Design

e) Prototyping

f) Testing

g) Certification

h) Qualification

i) Increasing efficiency

Research

Development



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Functional requirements:

• General and specific technical requirements;

• Functionalities/capacities to be included;

• Standards and interfaces to be addressed;

• SWAP and other performance (Size, Weight,

Power consumption, range, etc.);

• …

• Note: No functional requirements for the

OPEN calls

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Taken into account as part of the award criteria

(e.g. criteria 1, 2, 3, 4, 7)

EDF 2021 Topics: requirements and impact

Expected impact:

• Contribution to specific defence

capabilities

• EU Industrial competitiveness

• EU Market ecosystem

• EU Strategic autonomy

• Technology progress

• …



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EDF 2021 Calls and Topics (I)

Categories of Action Calls/ Budget Topics / Targeted activities Comments

EDF-2021-AIRAir Combat

Research40M€

R-NGRT: Next generation rotorcraft technologiesStudies

Up to one action may be funded

Development150M€

D-EPE: Enhanced pilot environment for air combat;Studies (+upstream) Several actions,

addressing different topics may be funded

D-CAC: European interoperability standard for collaborative air combat.Studies and Design (+upstream)

EDF-2021-AIRDEFAir and missile

defence

Development100M€

D-EATMI: endo-atmospheric interceptor-concept phaseStudies (+upstream or downstream)


Latest Release of EDF 2021 Call text (v1.4) published on 09 September 2021



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EDF 2021 Calls and Topics (II)


EDF-2021-GROUNDGround Combat

Research10M€

R-IW: Improved warheads.Generate knowledge, Integrate knowledge, Studies and Design


Development150M€

D-FMGV: Future modular ground vehicles and enabling technologies, including green technologies;Design, Prototyping and Testing (+upstream or downstream) Several actions,

addressing different topics may be funded

D-UGVT: Unmanned ground vehicle technologies;Studies, Design and Prototyping (+downstream)

D-3CA: BLOS collaborative close combat architectureStudies, Design, Prototyping and Testing (+upstream or downstream)



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EDF 2021 Calls and Topics (III)Categories of Action Calls/ Budget Topics / Targeted activities Comments

EDF-2021-PROTMOBForce protection and

mobility

Development50M€

D-SS: Development of full-size demonstrators for soldier systemsStudies, Design, Prototyping and Testing (+upstream or downstream) Several actions,

addressing different topics may be fundedD-DMM: Development of a digital system for the secure and

quick exchange of information related to military mobility.Studies, Design, Prototyping and Testing (+upstream or downstream)

EDF-2021-NAVALNaval Combat

Research33,5M€

R-DSSDA: Digital ship and ship digital architectureStudies and Design (+upstream) Specific Budget per

topic: • 29M€ DSSDA• 14,5M€ SSHM

R-SSHM: Ship Structural Health MonitoringStudies and Design (+upstream)

Development60M€

D-MMPC: Modular and multirole patrol corvette;Studies and Design (+upstream)




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EDF 2021 Calls and Topics (IV)Categories of Action Calls/ Budget Topics / Targeted activities Comments

EDF-2021-C4ISRInformation Superiority

Development70M€

D-HAPS: High-altitude platform systemsStudies and Design (+upstream or downstream)

Several actions, addressing different topics may be funded

D-COMS: Robust defence multi-dimensionalcommunicationsStudies, Design, Prototyping and Testing (+upstream or downstream)

EDF-2021-SPACESpace

Development50M€

D-SGNS: Space and ground-based NAVWAR surveillanceStudies, Design, Prototyping and Testing

• Several actions, addressing different topics may be funded

• Avoid overlaps with dual-use initiatives

• Specific eligibility conditions (SGNS) in case of access to PRS information (Decision No 1104/2011/EU)

D-EPW : European protected waveform and accompanying technologiesStudies and Design



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EDF 2021 Calls and Topics (V)


EDF-2021-CYBERCyber

Research13,5M€

R-CDAI: Cyber Defence and Incidence Management with artificial intelligenceGenerate knowledge, Integrate knowledge, Studies and Design

• Several actions, addressing different solutions may be funded


Development20M€

D-IECTE: Improved efficiency of cyber trainings and exercisesStudies, Design, Prototyping and Testing

• Up to one action may be funded


EDF-2021-DIGITDigital

transformation

Research18,5M€

R-FL: Frugal learning for rapid adaptation of AI systems Generate knowledge (+downstream)

Several actions addressing different solutions may be funded

Development40M€

D-MDOC: Military multi-domain operations cloud.Studies and Design (+upstream or downstream)




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EDF 2021 Calls and Topics (VI)Categories of Action Calls/ Budget Topics / Targeted activities Comments

EDF-2021-ENERENV

Energy resilience and environmental

transition

Development (*)

133M€

D-EEMC: Energy independent and efficient systems for military campsStudies (+upstream or downstream)

Several actions, addressing different topics may be funded

Avoid overlaps with dual-use initiatives

D-NGES: Next generation electrical energy storage for military forward operation bases;Studies and Design (+upstream or downstream)

D-PES: Alternative propulsion and energy systems for next generation air combat systemsStudies (+upstream or downstream)

EDF-2021-MATCOMP

Materials and components

Research40M€

R-PHE: Materials and structures for enhanced protection in hostile environmentsGenerate knowledge and Studies (+other research)

Several actions, addressing different topics may be fundedR-RF: Advanced RF components

Integrate knowledge, Studies and Design

(*) Corrected in EDF 2021 call text v1.4



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EDF 2021 Calls and Topics (VII)


EDF-2021-MCBRNDefence medical support, CBRN,

biotech and human factors

Research18,5M€

R-CBRNDIM: Detection, identification and monitoring (DIM) of CBRN threatsGenerate knowledge and Integrate knowledge (+downstream)

Several actions, addressing different solutions may be funded

Development50M€

D-MCM (*): Defence Medical CountermeasuresStudies and Design (upstream and downstream desired)

Several actions, addressing different solutions may be funded

EDF-2021-SENSAdvanced passive and active sensors

Research38M€

R-IRD: Infrared detectorsGenerate knowledge and Studies Several actions addressing

different topics may be funded

R-RADAR: Advanced radar technologiesGenerate knowledge, Integrate knowledge, Studies and Design

(*) Updated in EDF 2021 call text v1.4



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EDF 2021 Calls and Topics (VIII)


EDF-2021-DISDisruptive

technologies fordefence

applications

Research60M€

RDIS-QSENS: Quantum technologiesGenerate knowledge, Integrate knowledge, Studies and Design • Several actions,

addressing different topics

• ≥2 entities from 2 MS/AC

• Lump Sums

RDIS-NLOS: Non-line-of-sight optical sensors applicationsGenerate knowledge, Integrate knowledge and Studies

RDIS-OTHR Over-the-horizon radars applicationsIntegrate knowledge, Studies and Design (+upstream)

RDIS-AMD (*): New materials and technologies for additive manufactured defence applicationsGenerate knowledge

(*) Updated in EDF 2021 call text v1.4



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'Disruptive technology for defence' means an enhanced or completely new

technology that brings about a radical change, including a paradigm shift in the

concepts and conduct of defence affairs such as by replacing existing defence

technologies or rendering them obsolete’ EDF Regulation Article 2 (13)

with a concept for use and application

beyond incremental progress

system-wide consequences

Disruptive technologies for defence

• Flexibility to welcome

smaller consortia

• Award criteria mention

‘potential of disruption’

• This year only research calls

• Thematic calls and open call



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EDF 2021 Calls and Topics (IX)


EDF-2021-OPENOpen calls for innovative and future-oriented

defence solutions

Research10M€

RDIS: Research disruptive technologies for defenceGenerate knowledge (+upstream)

• Several actions • ≥2 entities from 2 MS/AC• Max 4M€ per action• Lump sums• Business coaching for

SMEs

Research17,5M€

R-SME: Research on innovative and future-oriented defence solutionsOne or more Generate knowledge; Integrate knowledge; studies; design

• Several actions• Lump sums• Max 4M€ per action• Business coaching for

SMEs

Development36M€

D-SME: Development on innovative and future-oriented defencesolutions.One or more among all with at least one from design and beyond

One open call on disruptive technologies for defence



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code: #EDFOpen call on disruptive technologies for defence

High-risk / high-impact

• High-risk accepted

• Mitigation of risks

New future technology

• Cutting-edge

• Radical vision

Technological target

• Concept of application

• Experimentally assessable

Potential impact in the

defence context

• Disruptive

• Game-changing

EDF-2021-OPEN-RDIS



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EDF 2021 Calls and Topics (X)


EDF-2021-OPENOpen calls for innovative and future-oriented

defence solutions

Research10M€

RDIS: Research disruptive technologies for defenceGenerate knowledge (+upstream)

• Several actions • ≥2 entities from 2 MS/AC• Max 4M€ per action• Lump sums• Business coaching for

SMEs

Research17,5M€

R-SME: Research on innovative and future-oriented defence solutionsOne or more among all eligible activities for research actions. No Studies alone. • Several actions

• Lump sums• Max 4M€ per action• Business coaching for

SMEs

Development36M€

D-SME: Development on innovative and future-oriented defencesolutions.One or more among all eligible activities for development actions with at least one from Design and beyond

Two dedicated open calls for SMEs



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code: #EDFOpen calls OPEN-R-SME and OPEN-D-SME

Call topicTotal

contributionOPEN-X-SME specific conditions Topic specific conditions

OPEN-R-SME € 17,5 million

• Several actions per call

• Max €4 million per action

• Lump sum

• Up to 30% funding in

subcontracting per beneficiary

• Successful SME beneficiaries

may be offered Business

Coaching

• Consortium of SMEs and research

organisations.

• Coordinator has to be an SME.

• Up to 40% of funding to research

organisations

• One or more activities eligible for R

• Cannot cover study alone

OPEN-D-SME € 36 million

• Only SMEs can be beneficiaries

• One or more activities eligible for D

• At least one activity ‘Design’ or beyond



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• Successful SME beneficiaries may be offered Business Coaching (if

successful in the open calls EDF-2021-OPEN-RDIS/R-SME/D-SME)

• Coaches guide SMEs in their business challenges

• Coaching offered for a period of two years

Business coaching in the EDF for SME

Reduce the time from research to development,

or from development to the market

Boost growth of SME



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Collaborative combat, Fire support,

Armoured vehicles, Camouflage, PNT,

Electronic warfare, Aircraft configurations, …

Sonar, radar, optical,…

Sensor data fusion

Quantum sensors

CBRN medical countermeasures

CBRN detection

Cyber Defence

Exercises and trainings

C4 ISR

SDR

Signal

transmission

Mobility, Logistics

Military basesAI, evaluation of AI

Integrated circuitsShipbuilding

Naval architectureSynthetic fuels

batteries

Unmanned Systems

Manned-Unmanned Teaming

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To assist the Commission in the technical evaluation, ethics screening and financial

assessment of the proposals submitted to the EDF 2021 calls

Expertise in technical areas, ethics or in financial assessment of defence related activities

Call for experts

Protection

Soldier systems

Missile defence

Warheads



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Registration

If selected, proposal to sign an expert contract

Participation in the evaluation

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Profile: Expertise

No Conflict of Interest

Excellent language and

drafting skills (English)

In possession of Personal

Security Clearance (PSC),

issued by the relevant

National Security authority

Be available for one or

two weeks

Payment for the services and

travel/accommodation expensed



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code: #EDFHow to register as a defence expert

1. At any time: Register or update your profile

in the EU experts database https://ec.europa.eu/info/funding-

tenders/opportunities/portal/screen/work-as-an-expert

with relevant fixed and freetext keywords

2. Send an email with your CV + registration

number to [email protected]

For more information, visit our website:

https://ec.europa.eu/defence-industry-space/calls-

tenders/defence-industry-call-experts-assist-

european-commission-evaluation-proposals_en

https://ec.europa.eu/info/funding-tenders/opportunities/portal/screen/work-as-an-expert

mailto:[email protected]

https://ec.europa.eu/defence-industry-space/calls-tenders/defence-industry-call-experts-assist-european-commission-evaluation-proposals_en



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code: #EDFQuestions and answers

OVERVIEW OF EDF 2021 CALLS FOR PROPOSALS

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Break – 10 minWill resume at 10.45

with Evaluation of the proposals and Grant agreements preparation

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EUROPEAN DEFENCE FUND – INFO-DAY 2021



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Evaluation of the proposals and Grant agreements preparation• General workflow, Admissibility conditions and Exclusion grounds

• Eligibility conditions

• Ethics, Selection criteria

• Award criteria

• After the evaluation

Ngandu MUPANGILAI & Nuria MARINAS-ROJO

Inge CEUPPENS & Francisco CASALDUERO & Sandro CALARESU



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• Ethics and Selection criteria

• Award criteria


Ngandu MUPANGILAI



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Evaluation of proposals based on the assessment of 6 conditions and criteria by the Evaluation Committee (Commission) with the assistance of independent experts

Admissibi-lity

Exclusion

Selection

Award

Ethics

Eligibility

Determine if applicants and affiliated entities falls under exclusion grounds

Compliance with formal requirements related to the submission and presentation of proposal

Assessment of the applicants’ operational and financial capacity to implement the action

Assess compliance of proposals with ethics’

requirements

Scoring and ranking of proposals on the basis of

the 6 (Research Action) or 8 (Development

Action) criteria

Assessment of the eligibility of the action and the entities,

together with call-specific criteria (when applicable)

Evaluation results



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Admissibility Conditions - formal requirements related to the submission and presentation of proposal

Buongiorno

Guten TagBonjour

Hola

Ahoi

1

Proposal

1

Topic=

Submitted before the call

deadline (9 December

2021 – 17.00 CET)

Submitted electronically via

the Funding & Tenders

Portal Electronic

Submission System

Proposals (w/annexes and

supporting documents)

must be complete and

submitted using the forms

Submission forms and

supporting documents need to

be provided as searchable pdf

files, unless otherwise specified

Proposal in one of the

official languages of the

Union (English language is

encouraged)

Each proposal must only be

submitted against one topic



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• Article 136 of the Regulation 2018/1046 applies

• Exclusion grounds:

• Bankruptcy, insolvency, being in an arrangement with creditors, suspension of its business activities, etc.

• breach of its obligations relating to the payment of taxes or social security contributions in accordance with the applicable law

• grave professional misconduct by having violated applicable laws or regulations or ethical standards of the profession

• fraud, corruption, conduct related to a criminal, money laundering or terrorist financing, terrorist offences or offences linked to terrorist activities, child labour or other offences concerning trafficking in human beings

• significant deficiencies in complying with main obligations in the implementation of a legal commitment financed by the budget

• irregularity within the meaning of Article 1(2) of Council Regulation (EC, Euratom) No 2988/95 (infringement of a provision of Community law […] which has, or would have, the effect of prejudicing the general budget of the Communities or budgets managed by them […]

• Creation of an entity in a different jurisdiction with the intent to circumvent fiscal, social or any other legal obligations

Exclusion criteria - determine if applicants and affiliated entities falls under exclusion grounds



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• Award criteria


Nuria MARINAS-ROJO



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Beneficiaries/recipients

- Members of the consortium /

signatories of the GA

Need to fulfil eligibility req.

Can claim their own costs

Eligibility of entities participating in the action

Subcontractors involved in the action

- Subcontractors with a direct contractual relationship to

beneficiary;

- Other subcontractors to which at least 10% of the total

eligible cost of the action is allocated;

- Subcontractors which may require access to classified

information to carry out the action.

Need to fulfil same eligibility req.

Beneficiary/affiliated entity can charge invoice

as subcontracting costs

Affiliated entities

- Third parties with a legal/capital link with

beneficiary that can implement part of the

action in their own name

Need to fulfil same eligibility req.

Can claim their own costs



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18


Other subcontractors and suppliers

Do not need to fulfil any eligibility conditions

Beneficiary/affiliated entity can charge their invoice as subcontracting

costs or other direct costs

Associated partners

- Entities established outside the territory of the Union or Norway

- Entities controlled by a non-EU/non-Norway country/ entity

Work packages cannot be allocated to them

Need to fulfil different eligibility conditions

Costs not eligible for funding



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Consortia: at least three eligible entities established in at least three different

MS/AC (exception: calls for disruptive technologies: at least two – EDF-2021-

XXX-RDIS)

• Only legal entities

• Established in the territory of the Union* (EU) or of Norway (AC)

• Infrastructure, facilities, assets and resources located in the Union

/Norway (Annex 7) – unless no competitive substitutes in EU/Norway

• Executive management structures established in the Union/Norway

• Non-controlled by non-EU/non-Norway country / entity


* Includes Outermost Regions and OCTs



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EU-control derogation: entities established in the EU/Norway but controlledby non-EU/non-Norway country/entity can participate in the action IFconditions relating to security and defence interests of the Union and itsMember States are met:

• No risk in the ability to perform the action (security of supply)

• Sensitive information not accessible to non-EU/non-Norwaycountry/entity (security of information)

• No transfer of IP (IPR remains in the EU/Norway)

Guarantees approved by Member States/Norway required: measures inplace must be substantiated




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• Control: ability to exercise a decisive influence on an entity, directly or

indirectly through one or more intermediate entities

• Decisive influence: possibilities available to shareholders to influence

strategic business decisions of the entity:

• Appointment and removal of senior management

• Budget

• Business plan

• Investments

• Market-specific decisions

Annex 6: applicants must provide all relevant information for the assessment

of control

Eligibility of entities: control



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code: #EDFEligibility of entities - control

Financial dependence on third-country shareholder’s

contribution

Financial links

Elements of control: Examples: Supporting documents:

Ownership structure

Corporate governance

Commercial links

Rights or options held by third-country shareholders

Representation of third-country persons in decision-

making bodies

Economic dependence on commercial cooperation with

third-country shareholder

- Shareholders agreement, Articles of association, Statutes

- Information of individual ultimate owners that detain at least 5% of capital or voting rights

- Last three shareholders meetings (listed)

- Shareholders agreement, MoU among shareholders, Articles of association, Statutes

- Description of decision-making procedures, composition

- Information on third-country entities (e.g. contracts, cooperation agreements) with contractual relationship

which can give control over it

- Information on shareholders providing financing, indicating type (equity, bonds, loans…) and absolute and

relative volume to undertaking’s balance sheet



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At which level must the control be assessed?

Eligibility of entities - control

B11 B21 B22 C12 C21

A1 A2

D

B1 B2 C1 C2

A B C

Y

20% 40% 20%20%

30% 70% 60% 40% 51% 49%

100% 80% 20% 100% 100%

Company

established

outside

EU/Norway

Company

established

in

EU/Norway

Ultimate

owner non-

EU/non-

Norway

national

Ultimate

owner

EU/Norway

national

Needs to be assessed at

the level of the ultimate

owners.

Ultimate owners are

always natural persons

(except in cases of public

entities) who ultimately

control the entity



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An action must:

• correspond to the topic against which is submitted

• address new defence products or technologies or upgrade of existing ones

• cover one or more of the following activities:

Eligibility of actions

ActivitiesEligibility

Research action Development action

generating knowledge Yes No

integrating knowledge Yes Yes

studies Yes Yes

design Yes Yes

prototyping No Yes

testing No Yes

qualification No Yes

certification No Yes

increasing efficiency No Yes



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• Ineligible: products/technologies which use, development or production is

prohibited by applicable international law

• Ineligible: Lethal autonomous weapons without the possibility for meaningful

human control over selection and engagement decisions when carrying out

strikes against humans*

• Background and generated foreground IP shall not be subject to any control

or restriction by non-EU/non-Norway countries/entities (Annex 4)

Eligibility of actions

* without prejudice to the possibility of providing funding for actions for the development of early warning

systems and countermeasures for defensive purposes



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• Costs of the action not covered by Union support are to be covered by other

means of financing (e.g. Member States/Norway co-financing)

• Design activities must be based on harmonized defence capability

requirements jointly agreed by at least two Member States or Norway

• System prototyping and beyond:

o must be based on common technical specifications jointly agreed by the

Member States or Norway that are to co-finance or that intend to jointly procure

the final product or to jointly use the technology

o at least two Member States or Norway need to show their intention to procure

the final product or to use the technology in a coordinated way, including through

joint procurement where applicable.

Eligibility of actions Development actions only



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• Call EDF-2021-OPEN-Research

• Consortium: composed of small and medium-sized enterprises (SMEs) or research

organisations (eligibility). Coordinator must be an SME.

• Research organisations within the consortium cannot exceed 40% of total eligible costs

of proposed action

• For each member of the consortium and each affiliated entity, subcontracting will be strictly

limited to 30%

• Call EDF-2021-OPEN-Development

• Consortium: composed of small and medium-sized enterprises (SMEs) only (eligibility)

• For each member of the consortium and each affiliated entity, subcontracting will be strictly

limited to 30%

• Topic EDF-2021-SPACE-D-SGNS

• Additional eligibility conditions in case access to Galileo PRS information

Eligibility of actions – call-specific conditions



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EVALUATION:

• General workflow, Admissibility conditions, Exclusion grounds


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code: #EDF



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• Award criteria


Inge CEUPPENS



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code: #EDFEthics: the Ethics Issues Table

Consult the document How to complete your ethics self-assessment

• Information to be included in Part A-sup of submission form

• References to part B of the submission form or external

documents where needed

Fill in the ethics issues table

• A self-assessment of 10 main questions with sub-questions

• Only issues relevant and applicable to the proposal require

further inputs

• Includes items concerning content of the activity (what) and

the performance of the activity (how)

• Risk mitigation actions/proof of licenses where applicable

Ethical by design

• Proposal should be

‘ethical by design’



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code: #EDFEthics Evaluation

Pre-screening of all proposals

Identification of proposals that

contain ethical issues, by

Commission staff

Screening

Only proposals that have been identified to include ethical issues

Commission assisted by independent experts

No scoring – no impact on ranking list

Possible outcomes: ethics clearance/ conditional ethics clearance

Ethics assessment

Where needed, further ethics assessment can be performed

When in screening phase further issues arise

With independent experts

Rejection of proposal is possible after two ethics assessment panels

Evaluation against

award criteria



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code: #EDFSelection Criteria

Operational CapacityDemonstrate professional competencies

and qualifications required to complete

the proposed action

Financial CapacityDemonstrate stable and sufficient

sources of funding to maintain activity

throughout the duration of the grant

and to participate in the funding of the

action.

Assess applicant’s (and affiliated entities’)

capacity to complete the proposed actionInformation to be included in Part

B and support documentation

REA Validation



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• Checks performed by the Research Executive Agency (REA) Validation services

• Documents to be provided in the Participant Register

Financial Capacity

Balance sheet and profit & loss

account for the last financial year for

which the accounts were closed

Audit report produced by an approved external auditor for applicants requesting more than EUR 750 000 of Union financial support

Statutory audit required by EU/national law:

• YES: submit

• NO: self-declaration

Certify/Validate last 3 financial years

Document NOT required for:

• Public Bodies

• International Organizations

• Natural persons in receipt of education support/ in need and receipt of direct support



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code: #EDFOperational Capacity

• Declaration on Honour

• Part B (narrative)

List of projects/products (Annex 7)

• Related to the task to be performed

• Year/duration/value/role of applicantFacilities, assets and resources (Annex 7)

• Labs, tools, software

• Personnel expertise/know how

• For LUMP SUM: CVs of team involved in

the action

Description of the entity (Annex 7)

• Profile and area of expertise

relevant to the action



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code: #EDF




• Award criteria


Francisco CASALDUERO



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Criteria 5

Criteria 6

Criteria 7

Criteria 8

Research actions: Criteria 1 to 6

Development actions: Criteria 1 to 8

Assessment based on:

Part A, A Sup and Annexes

Part B

Supporting documents

Award Criteria

Criteria 1

Criteria 2

Criteria 3

Criteria 4

Excellence

Innovation

Competitive

ness

EDTIB

Autonomy

Cross-

border

cooperation

and SME

Quality and

Efficiency

Life-cycle

improve-

ments

EU

industrial

integration



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Contribution to excellence or potential of disruption in the defence domain, in particular

by showing that the expected results of the proposed action present significant

advantages over existing defence products or technologies

• Double weighting for both Research and Development actions

• Part B

• Excellence of the overall concept and soundness of the proposed solution

• Compliance with the call text (specific challenge, scope, targeted activities, functional requirements and

expected impact); aspects not related to eligibility

• Advantage (strategic, technological or operational) over existing defence products or technologies;

potential of disruption (*) in the defence domain

Criterion 1: Excellence

(*) refer to the definition of ‘disruptive technologies for defence’ in the Guide for applicants



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Contribution to the innovation and technological development of the European

defence industry, in particular by showing that the proposed action includes ground-

breaking or novel concepts and approaches, new promising future technological

improvements or the application of technologies or concepts previously not applied in

defence sector, while avoiding unnecessary duplication

• Double weighting for Research actions and single weight for Development actions

• Part B

• Innovation potential, ground breaking concepts (products, services, business model…), new

technological applications to defence sector

• Take due account (and integration with) past/ongoing activities (if applicable)

• Spin-off to other defence applications/products

Criterion 2: Innovation



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Contribution to the competitiveness of the European defence industry by

showing that the proposed action is a demonstrably positive balance of

cost-efficiency and effectiveness thus creating new market opportunities

across the Union and beyond and accelerating the growth of companies

throughout the Union.

• Single weighting for both Research and Development actions

• Part B

• Competitive advantage of the product/technology/solution vis-a-vis existing or planned solutions

• Potential to accelerate the growth of companies (including market analysis)

Criterion 3: Competitiveness



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Contribution to the autonomy of the European Defence Technological Industrial

Base (EDTIB), including by increasing the non-dependency on non-Union

sources and strengthening security of supply, and to the security and defence

interests of the Union in line with the priorities referred to in Article 3

• Single weighting for Research actions and double weighting for Development actions

• Part B

• Increasing the Union’s industrial and technological non-dependency

• EU security of supply

• Contribution to defence capability priorities agreed by MS (e.g. CDP, regional priorities…)

Criterion 4: EDTIB Autonomy



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Contribution to the creation of new cross-border cooperation between legal

entities established in Member States or associated countries, in particular SMEs and

mid-caps with a substantial participation in the action, as recipients,

subcontractors or as other legal entities in the supply chain, and which are

established in Member States or associated countries other than those where the legal

entities cooperating within a consortium which are not SMEs or mid-caps are

established.

• Double weighting for both Research and Development actions

• Qualitative assessment in part B. Quantitative information on SME and mid-caps participation in

Annexes 1 and 8.

• Creation of new cross-border cooperation in particular targeting SME and mid-caps (information on on-

going and past cooperation for activities on the same field to be included in Annex 7)

• Planned future cross-border cooperation

• Extent and added value of SME and mid-caps contribution to the action

Criterion 5: Cross Border Cooperation



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Quality and efficiency of the carrying out the action

• Single weighting for both Research and Development actions

• Part B

• All aspects related to Project Management: work packages, milestones, deliverables, risks, schedule,

interactions between activities

• Structures and procedures including decision making

• Consortium resources and allocation of tasks

Criterion 6: Quality and Efficiency



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The contribution to increasing efficiency across the life cycle of defence products

and technologies, including cost-effectiveness and the potential for synergies in the

procurement, maintenance and disposal processes.

• Only for Development actions and with single weighting

• Part B

• Assessed for all development actions (even if not covering activity type i) increasing efficiency)

• Improvements compared to existing solutions as regards production, operation, in-service support…

• Simplification of processes or combination with existing ones

Criterion 7: Life-cycle improvements



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The contribution to the further integration of the European defence industry

throughout the Union through the demonstration by the recipients that Member

States have undertaken to jointly use, own or maintain the final product or technology in

a coordinated way.

• Only for Development actions and with single weighting

• Part B and supporting documents (e.g. Letter of Intent)

• Assessed for all development actions (also in cases in which the joint use/ownership/… is not an

eligibility criteria as per the activities (e) prototyping to (h) certification)

• Number of Member States

• Contribution to integration of EU defence Market and increase cooperation

Criterion 8: EU industrial Integration



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Different individual weights for Research or

Development actions

Scoring and weighting

• Overall score: weighted sum of individual scores normalised to 15 (i.e. proposal score from 0 to 15)

• Overall Threshold set to 10 out of 15 - no threshold for individual criteria

Predefined scale; each criterion scored from 0 to 5

(half points allowed)



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EVALUATION


• Award criteria

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• Award criteria


Sandro CALARESU



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code: #EDFEDF 2021 Calls - Indicative timeline

9 Sep 2021 9 Dec 2021 Jun 2022 Sep 2022

Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep

Opening of EDF

2021 on the Funding

& Tender Portal

Final submission

deadline for EDF

2021 calls

Information to

applicants on

evaluation results

Signature of Grant

Agreement with

selected proposals

2021 2022

Oct Nov Dec



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Definition of the

Security

Framework

Indicative

T0

AugJune Jul

2022Sep Oct

T0 +3 months T0 +15 to 75 monthsT0 – (1- 2 days)

Reserve ListUsed when ML proposal

failed to sign GA

Below Threshold

Overall score below 10/15

IneligibleFailed to meet eligibility

criteria

Information letter

to all proposals

Main List3. Project management 4.

Finalisation

1. Grant Agreement

Preparation

2. GA Signature

Finalisation



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code: #EDFSecurity Framework for EDF actions

• Established during the GAP

• Needs to be in place before the

signature of the GA

• Integral part of the GA through

the Annex 5 of the Grant

Agreement (Security Aspects

Letter, SAL)

Protection and Handling of Classified information related to the actions (i.e.

Programme Security Instructions, PSI(*) and annexes)

(*) EDF PSI template will be finalised and

published approx. in October 2021

Art. 27 of EDF Regulation

(2 options)

Under European Commission authority(in accordance with Commission Decision 444/2015)

Under authority of Member States in which the recipients are established (in accordance with National rules)

MODEL 1

MODEL 2



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AFTER THE EVALUATION

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code: #EDF



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Lunch break – 1h30Will resume at 14.00

with Costs and financial aspects

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code: #EDF




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Costs and financial aspects• Eligible / ineligible costs

• Indirect costs

• EU funding rates

• Type of grants

Bruno NGUYEN & Carlos ARSUAGA-CARRERAS



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code: #EDF


• Indirect costs


• Type of grants

Bruno NGUYEN



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• Eligibility: specific approach of what EU budget can finance

Expenses which are necessary for the implementation of action

• Eligibility criteria defined in the Financial Regulation and in the specific legal

basis

Valid for direct and indirect costs…

…and for actual cost or lump sum grants (a lump sum is fixed on the basis of

estimated actual eligible costs at the end of the action)

Eligible costs / Ineligible costs



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What are the costs which can be reimbursed by EDF budget?

Mix between:

- The generic definition of the Financial Regulation (Article 186 FR) Financial regulation applicable to the general budget of the Union - Publications Office of the EU

(europa.eu)

- Limitations from the EDF legal basis

- Additions made by the Commission in the EDF Call documents


https://op.europa.eu/en/publication-detail/-/publication/e9488da5-d66f-11e8-9424-01aa75ed71a1/language-en/format-PDF/source-86606884



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code: #EDFThe definition of the Financial RegulationArticle 186(3) FR



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• Actual costs = ‘actually incurred’ (ex-post vision)

No provision

No contingencies

• Spent ‘during the duration of the action’

Starts on or after the (1st day of the month following) grant agreement signature

(exception, if justified by the applicant that the action needs to start before that date)

Ends at the date fixed in the grant agreement (exception for the costs of final report

(including cost of CFS)) request amendments if more time is needed for good reasons

The definition of the Financial RegulationArticle 186(3) FR



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• ‘Indicated in the estimated overall budget’

The grant amount never increases

Budget transfers are possible, but amendments are required to create a new budget item,

invite a new subcontractor or modify the scope of activities with higher co-financing rates

• ‘Necessary for the implementation of the action’

The Commission rejects on this basis expenses which have nothing to do with the action

(in direct or indirect costs)

The definition of the Financial Regulation



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• ‘Identifiable and verifiable’ & legal

Booked in the accounts and determined in accordance with the national accounting

standards and the usual business practices of the beneficiary (depreciation,

remuneration)

In compliance with tax and social legislation

• ‘Comply with sound financial management’

The Commission rejects on this basis expenses which are excessive…

…or those which do not comply with economy and efficiency (acquisition of goods &

services and subcontracting through a procedure ensuring best value for money)

The definition of the Financial Regulation



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Consider the restrictions to the eligibility of costs provided by:

• Articles 7 and 10.6 of EDF regulation (Ethics, guide for applicants page 30)

• Articles 9.5 and 9.6 (cost of infrastructure and assets located outside an EDF

participating country)

• Article 20.3 of EDF regulation (ownership/control of the action’s results by a

non-EDF participating country)

Limitations from the EDF Legal basis



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code: #EDFAdditions in the Call documents

According to the Guide for applicants, are eligible:

• The cost of a bank guarantee required by the Commission before pre-

financing payment is an eligible cost

Private entities must check their financial capacity before applying: LFV Simulation (europa.eu)

• Costs relating to the submission of the final report, including the cost of

certificate of financial statements (CFS, for actual cost grants where the

requested grant for the applicant is > EUR 406 000 if 25% flat rate for indirect

costs; otherwise EUR 325 000)

https://ec.europa.eu/research/participants/lfv/lfvSimulation.do



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• List of ineligible costs per nature (non-exhaustive) in the guide for applicants:

appendix 2, section 8, page 124

European Defence Fund – EDF 2021 calls documentation, submission forms and guidance

(europa.eu)

• For actual cost grant: the Commission works only with eligible costs (final

grant amount). Declare all costs spent for the action in the final financial

statement.


https://ec.europa.eu/defence-industry-space/calls-tenders/european-defence-fund-edf-2021-calls-documentation-submission-forms-and-guidance_en



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code: #EDF


• Indirect costs


• Type of grants

Bruno NGUYEN



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code: #EDFIndirect costs in EDF

• What are indirect costs?

• How indirect costs are reimbursed in EDF?

• What are the conditions to opt for the ‘actual

indirect cost’ regime?



97

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- Costs that are not directly linked to the action

- Commission applies a strict interpretation of the

direct link (no use of any proxy)

Definition of indirect costs



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code: #EDFCosts not directly linked to the action

Indirect costs

Overheads

Direct costs

Horizontal staff & costsCEO, Group management fees, legal service, internal audit,

purchase service, communication, building, heating

Project 1

R&D Staff

Equipment

Subcontracting costs

Other direct costs

Project 2

R&D Staff

Equipment


Other direct costs

Project 3

R&D Staff

Equipment


Other direct costs



99

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- An allocation key based on m² is not considered

precise enough to qualify costs like energy/heating

as direct

- However, part-time involvement in the project is

accepted if supported by a detailed time-sheet

Strict interpretation of the direct link



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Strict interpretation of the direct link

Ineligible costs

Indirect costs

Mixed costs

Direct costs

Evidence of a direct link with the project

Costs which can be charged as direct costs subject to supporting

documents (time sheet, invoices)

No evidence of a direct link with the project

General and Administration (G&A) expenses (water, energy, etc.)

No link with or not necessary for the project

Total costs



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code: #EDFIndirect costs in EDFArt 15

Two possibilities:

• 25% of the eligible direct costs, excluding subcontracting (like in EDIDP and

PADR)

By default regime (no need to opt). Simplification, a flat rate does not

need justification.

Or

• Possibility to opt for more than 25%: optional ‘actual indirect costs’

regime



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code: #EDFConditions for the optional regimeOption is:

• open to each applicant (no restriction per call* or type of entity) disregarding the choice of another applicant in the same consortium

• chosen at the application stage (specific appendix to Annex 1&2 to the submission form, see Guide for Applicants, section 9.9.6 page 134)

• made on a project basis and for the whole duration of the action

• subject to the validation by the relevant national authority that thecalculation of the indirect costs was made according to a methodologyaccepted at national level for comparable activities in the defence domain

* To be confirmed for lump sums



107

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code: #EDFConditions for the optional regime



108

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code: #EDF


• Indirect costs


• Type of grants

Carlos ARSUAGA-CARRERAS



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code: #EDFEU funding rates in EDF: general principles

• EDF is an activity-based programme EU

funding depends on activities included in action

• Within an action: one or more funding rates

• Within an activity type: same funding rate for

o All beneficiaries participating in the activity

o All eligible costs included in the activity

Action (project)

Activity type 1

EU funding rate 1

Activity type 2

EU funding rate 2

…



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code: #EDFEU funding rates: research vs development

Research actions

Activity type EU funding rate

Generating knowledge 100%

Integrating knowledge 100%

Studies 100%

Design 100%

Development actions

Activity typeEU baseline

funding rate

Bonuses

EU maximum

funding rate

Integrating knowledge 65% 100%

Studies 90% 100%

Design 65% 100%

Prototyping 20% 55%

Testing 45% 80%

Qualification 70% 80%

Certification 70% 80%

Increasing efficiency 65% 100%



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code: #EDFThe bonus system for development actions

Condition for application Value of the bonus

PESCO Bonus

Action developed in context of PESCO +10% for all activities in the action

‘Mid-cap’ bonus

% eligible costs allocated to ‘Midcaps’ established in

the EU (and NO) ≥ 15% +10% for the activity

SME Bonus

% eligible costs allocated to ‘SMEs’ established in the

EU (and NO) ≥ 10%

% of eligible costs allocated to ‘non cross-border

SMEs’ established in the EU and NO (maximum 5%)

+

2 x % of eligible costs allocated to ‘cross-border

SMEs’ established in the EU and NO



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code: #EDFCross-border and non-cross-border SME for SME Bonus

Large

Enterprise

Country A

University

Country B

Mid-cap

Country C

SME 6

Country

A

SME 1

Country

E

SME 2

Country

D

SME 3

Country

E

SME 4

Country

F

SME 5

Country

B

Participants to an eligible

action

Consortium (beneficiaries)

Cross-border SME

(CB SME)

Non cross-border SME

(NCB SME)



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Assumptions

• Activity type: design

• No PESCO

The bonus system: example

Consortium% eligible

costs

Large company 40

CB SME 10

NCB SME 25

Mid-cap 25

• SME:

35% eligible costs ≥ 10 +25 + 2x10 = +25%

+5

NCB CB

Baseline Mid-cap SME

Total EU funding: 65 + 10 + 25 = 100%

Bonus calculation

• Mid-cap:

25% eligible costs ≥ 15 +10%

• PESCO: 0%



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• Activities and work packages:

o Possible: one activity implemented through 1 or more WP

o Not possible: one WP addressing more than 1 activity

• Management and coordination (WP1) Activity type Studies

• Bonuses established separately for each activity (except PESCO)

• All participants in the action (beneficiaries, affiliated entities, subcontractors) can be taken

into account to establish the bonuses if identified in proposal (Annex 1 & 2)

• Templates for Annex 1 & 2 (budget) to submission form automatizes the computation of

the funding rates & bonus on the basis of the information and costs inputs by the applicants

Funding rate & bonus: points of attention



115

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code: #EDF


• Indirect costs


• Type of grants

Carlos ARSUAGA-CARRERAS



116

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code: #EDF

• Two types of grants in EDF 2021: actual costs & lump sums

• A different model grant agreement (MGA) for each

• Type of grant is established by the Commission for each call:

o All projects funded under a specific call are implemented with the same MGA

o Not possible for applicants to chose (at proposal stage) or change during GAP

• Calls using lump sums (4): EDF-2021-DIS-RDIS, EDF-2021-OPEN-RDIS, EDF-2021-OPEN-

R and EDF-2021-OPEN-D

• Calls using actual costs (19): all the others

Type of grants in EDF 2021



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code: #EDFActual costs vs lump sums: differences (i)

ACTUAL COSTS LUMP SUMS

PR

OP

OS

AL • Summary budget

• Detailed info requested only on selected

items (subcontracting, other direct costs)

• Detailed budget (+ appendix to Annex 3)

• Information on the team implementing

action (Annex 7)

EV

AL

UA

TIO

N &

GA

P • Correction of obvious budget mistakes • In depth assessment of budget proposal by

Commission & external experts

• Request of supporting documents (salary

slips, offers, etc.) via coordinator

• Establishment of lump sum amounts (per

WP & per beneficiary) in the GA



118

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code: #EDFActual costs vs lump sums: differences (ii)

ACTUAL COSTS LUMP SUMS

IMP

LE

ME

NTA

TIO

N

• Payment upon:

o completion of work

o incurred costs reported

• EU Cost eligibility rules apply

• Technical desk checks and reviews

• Need to keep proof of completion of work

(deliverables, technical documents, etc.)

• Financial desk checks and audits

• Need to keep time sheets, salary slips, invoices

for equipment and subcontracting, etc.

• Payments upon completion of work only

• Only technical checks and reviews are

possible

• Only need to keep proof of completion of

work (deliverables, technical documents,

etc.)



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• Same evaluation criteria for lump sum calls and actual costs calls

• Most provisions of both MGAs are the same: IPR, confidentiality and

security, proper implementation of the action, ethics, etc.

• Same payment scheme: pre-financing – interim payment – final payment

• Payments are made at the end of reporting periods and upon approval of a

periodic report

Actual costs vs lump sums: common points



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code: #EDFFocus on lump sums paymentsWP1 WP2 WP3 WP4 Total

Coo 250.000 50.000 300.000

Ben 2 250.000 350.000 50.000 650.000

Ben 3 100.000 100.000 50.000 250.000

Ben 4 120.000 50.000 170.000

Total 350.000 470.000 350.000 200.000 1.370.000

WP1 WP2 WP3 WP4

Coo Completed Initiated

Ben 2 Completed Completed Not initiated

Ben 3 Completed Not initiated Not initiated

Ben 4 Completed Completed

Annex 2 GA

State of

play at end

of reporting

period

Payment: 350.000 + 0 + 350.000 + 0 = 700.000 € Paid to coordinator



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• Lump sums grants represent a significant simplification potential:

• Slightly higher effort at proposal and GAP stage…

• … but major reduction of administrative burden during project implementation (and afterwards)

• Focus on performance: shift from financial management & cost control to technical work

and achievement of results

• Methodology to establish lump sums in Authorising Decision

• Further information in GfA and FAQ at DG DEFIS website: European Defence Fund – EDF

2021 calls documentation, submission forms and guidance (europa.eu)

Final remarks and additional resources




122

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COSTS AND FINANCIAL ASPECTS


• Type of grants

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code: #EDF



123

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code: #EDF

Break – 10 minWill resume at 15.10

with Preparation of proposals and submission process

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code: #EDF




124

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code: #EDF

Preparation of proposals and Submission process

Guillaume GALTIER



125

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code: #EDF

• Online submission process (Funding & Tender Portal)

• Open since 9 September 2021

• New set of Submission forms

• Some to be filled in online, some other to be filled in offline

• Macro-enabled files for some of the Annexes

• Latest versions of Submission forms, Calls and conditions, Guide for applicants and FAQ available on a dedicated DG DEFIS web page (accessible from the F&T portal)

• Do not wait for the last moment to get familiar with the forms and the submission process!

• You can save application drafts on the F&T portal and resume any time before final submission deadline

Evolutions compared to EDIDP



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• Part A – administrative part

• Part A Sup – supplementary information to part A

• Annex 1 - Increase in the funding rate (bonus) and quantitative assessment of eligible costs allocated to SMEs and mid-caps established in the Union

or in associated countries (macro-enabled file common with Annex 2)

• Annex 2 - Budget table (macro-enabled file common with Annex 1), including an Appendix for applicants and affiliated entities opting for the actual

indirect costs

• Annex 3 - Declaration on honour for the applicants and affiliated entities, including an Appendix for applicants and affiliated entities applying for a call

implemented through lump sums grants

• Annex 4 - Pre-existing information (background information) linked to non-associated third countries or non-associated third-country entities

• Annex 5 - Industry-related information on applicants, affiliated entities and subcontractors having a direct contractual relationship with an applicant

• Annex 6 - Declaration of ownership and control (macro-enabled file)

• Annex 7 - Description of infrastructure, facilities, assets and resources used for the purpose of the action – Operational capacity

• Annex 8 - Mid-cap self-assessment form (macro-enabled file)

• Part B – description of the action

• Supporting documents

Submission forms and processTo be filled out directly online

Forms to download and filled out offline

Upload on F&T portal as a single encrypted zip file

Password(s) used for encryption to be sent at: [email protected]




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Information to be filled out directly online in the F&T portal

• Basic information on the proposal (acronym, title, duration, free keywords, abstract)

• Declarations

• Administrative information on applicants, affiliated entities and associated partners

• All declared participants need to register their entity to get a PIC

• Simplified budget table

Part A – Administrative part



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Information to be filled out offline

• Questions related to eligibility of the applicants, affiliated entities and of the consortium in a whole as well as of subcontractors involved in the action and of associated partners

• Questions related to the eligibility of the action

• Ethics issues table

• Call-specific questions regarding eligibility of participants (EDF-2021-OPEN-R/D and calls requiring access to PRS information)

• Additional justification regarding budget information (subcontracting, travel and subsistence)

• Submission format: searchable pdf

Part A Sup – Supplementary information v1.2



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• Macro-enabled Excel file (do not wait last moment to test it!)

• Detailed budget tables generated automatically according to information provided (call & topic, participants, activities & WP, indirect costs regime, PESCO)

• Different workflow for “actual costs” and “lump sum” grants

• Bonus calculation (development actions only) and quantitative information for award criterion 5 computed automatically

• Must contain all estimated eligible costs of the proposed action (including costs for subcontracting) and estimated costs for associated partners (if any)

• Includes completeness and consistency checks: does not substitute your own checks and further assessment by the Commission

• You need to provide both xlsx and pdf exported files with your application

Annex 1&2 – Budget tables v1.3



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• To be filled in by each applicant or affiliated entity opting for the actual

indirect costs regime

• Consists in:

• a word questionnaire to explain methodology used

• an excel template showing how indirect costs should be detailed and presented

(correspondence table)

• Both parts need to be duly completed, signed (including by national

authorities) and provided with your application before the submission deadline

• Format: pdf for the questionnaire and pdf + xlsx for the table

Appendix to Annex 1&2 – Actual indirect costs v1.0



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• 3 types of declaration

• One for the coordinator only

• One for each applicant (including the coordinator as an applicant)

• One for each affiliated entity (if any)

• 1 appendix to be included in the declaration of each applicant and affiliated entity applying for calls implemented through lump sums grants

• Includes additional information regarding methodology used to establish personal costs

• Provide signed declarations as pdf files

Annex 3 – Declaration on honour (DoH) v1.1



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• Needed for eligibility check

• List IPR needed to perform the action that is not originating from EU or Norway

• Provide information about origin

• Provide information about rights that participants have, demonstrating that they can perform the proposed work

• Justify that the use of this IPR will not lead to restriction or control by non-associated countries/entities over the results of the action

• Provide duly completed file(s) as pdf

Annex 4 – IPR on background information v1.0



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Expected from all applicants but will not impact evaluation of the proposal

Objectives

• To map EU’s dependencies in the Aerospace and Defence (ASD) Ecosystem (dependency screening);

• To monitor, report, and to evaluate whether the European Defence Fund has achieved its objectives (impact tracking);

• To sustain the EU Observatory of Critical Technologies set up to foster supply-chain resilience (technology “blind spots” detection);

• To support the industry (EDTIB) policy-related work of DG DEFIS.

Annex 5 – Industry related information v1.0



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Means - a “tick-the-box exercise” on selected elements, encompassing:

• Your entity’s role in the supply chain;

• Your products/services;

• Your use of selected key:

• Technologies;

• Skills; and

• Materials.

Submission format: xlsx

Annex 5 – Industry related information v1.0



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• Information needed to assess eligibility (control) of:

• applicants

• affiliated entities

• subcontractors involved in the action

• Requested supporting documents to be attached (pdf expected) directly in the form

• Includes completeness and consistency checks: does not substitute your own checks and further assessment by the Commission

• You need to provide, for each participant, both xlsx and pdf exported files with your application

Annex 6 – Declaration of ownership and controlv1.0



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Needed to assess:

• Eligibility of each applicant, affiliated entity and subcontractor involved in the action

• Location of infrastructure, facilities, assets and resources used to carry out the action

• Operational capacity of each applicant and affiliated entity

• Past experience in similar tasks

• For lump sum grants: detailed information about each participant (1 page max) and their role in the project

• Proposal against award criterion 5 (qualitative aspects)

• New cross-border cooperation

• EDF performance indicators (no impact on evaluation of proposal)

• Background information stemming from previously EU funded projects

• Newcomer in research activities with defence applications

• Provide as pdf file(s)

Annex 7 – Operational capacity and resources v1.0



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• Needed for each participant claiming the mid-cap status to:

• Assess proposal against award criterion 5 (both for Research and Development calls)

• Each applicant, affiliated entity and subcontractor involved in the action

• Assess eligibility to mid-cap bonus (Development calls only)

• Each applicant, affiliated entity, and their direct subcontractors

• Includes completeness and consistency checks: does not substitute your own checks and further assessment by the Commission services

• Final validation will be performed by the REA validation services after submission of the proposal

• You need to provide, for each participant claiming the mid-cap status, both xlsx and pdf exported files with your application

Annex 8 – Mid-cap self-assessment form v1.0



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• Make sure that data used for headcount

of staff and financial amounts:

• are consolidated (entity concerned +

linked/partner enterprises)

• relate to the current financial year

• Nota: Be aware that your entity will not

be considered a mid-cap if 25 % or

more of the capital or voting rights are

directly or indirectly controlled, jointly or

individually, by one or more public

bodies.

Annex 8 – Mid-cap self-assessment form v1.0



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• Summary and detailed description of the proposed action (Section 6)

• Use templates provided!

• Focus on each of the award criteria (Section 7)

• Description of each work package (Section 8)

• Use template provided.

• Start new WP on new page.

• Respect page limits: pages exceeding limits will be made invisible to the evaluators

• 60 pages for Section 6+7 for Research actions / 64 pages for Development actions

• Maximum 2 pages for each WP in Section 8

Part B – Description of the actionInformation to be filled out offline

v1.11



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code: #EDFSupporting documents

• Needed (in addition to information provided in Participants portal, Submission forms and Annexes) to assess eligibility of participants and action

• To be provided with the application before the submission deadline

• Some of these documents require approval/signature by national authorities anticipate

• In specific cases, additional documents may be requested after submission of the proposal

• Summary list provided in Guide for applicants

• Expected format: searchable pdf files

• No template provided



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• Eligibility of the participants:

• Management structure established in EU or Norway

• Evidence in case infrastructure, facilities, assets and resources located outside EU and

Norway

• Graph with chain of control (useful for Annex 6 and also for Annex 8)

• Derogation regarding control (guarantees approved by national authorities)

• Associated partners (to substantiate justification)



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• Eligibility of the action:

• Co-financing by Member States or Norway, or by other stakeholders if costs not fully

covered by EU funding (development actions only)

• Harmonised defence capability requirements (design) and common technical

specifications (prototyping +) (development actions only)

• derogation regarding harmonised defence capability requirements / common technical

specifications

• Intention to procure (development actions only)

• Additional evidence regarding absence of control or restriction on the results by non-

associated countries/entities



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• Submission process

• Annex 1&2 (actual costs – lump sum)

In practice (dynamic demonstrations)



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• General information on the EDF (DG DEFIS website)

• EDF Regulation (and Financial Regulation)

• EDF work programmes

• EDF Calls on the Funding and Tender portal (where to apply)

• EDF Submission forms and Conditions for applying to the calls (revised versions published)

• EDF Guide for applicants (v1.1 to be published soon after the InfoDay)• Corporate guidance on How to complete your Ethics self-assessment

• EDF FAQ (updated on a regular basis)

• EDF Info Day (access to recorded video)

• Remaining questions regarding application? [email protected]

Useful links

https://ec.europa.eu/defence-industry-space/eu-defence-industry/european-defence-fund-edf_en

https://ec.europa.eu/info/funding-tenders/opportunities/portal/screen/how-to-participate/reference-documents;programCode=EDF

https://ec.europa.eu/info/funding-tenders/opportunities/portal/screen/how-to-participate/reference-documents;programCode=EDF

https://ec.europa.eu/info/funding-tenders/opportunities/portal/screen/programmes/edf



https://ec.europa.eu/info/funding-tenders/opportunities/docs/2021-2027/common/guidance/how-to-complete-your-ethics-self-assessment_en.pdf


https://ec.europa.eu/defence-industry-space/european-defence-fund-edf-information-day-networking-event_en




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• Partner search tool on the Funding & Tender portal

• Register and subscribe to each topic of interest

• EDF brokerage / matchmaking events organised at:

• Union level (16&17 September 2021)

• Multinational or national level

• Partnership opportunities on the Enterprise Europe Network (EEN)

• Regional or national contact points:

• European Network of Defence related Regions (ENDR)

• In a near future: EDF National Focal Points (NFP)

How to search for partners?

https://ec.europa.eu/info/funding-tenders/opportunities/portal/screen/how-to-participate/partner-search

https://een.ec.europa.eu/

https://www.endr.eu/



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PREPARATION OF PROPOSALS AND SUBMISSION PROCESS

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Concluding remarks and wrap-up Sylvia KAINZ-HUBER - Head of unit DG DEFIS/A2

EDF Implementation, Programming and SME support



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16 Sept 17 Sept

am

Brokerage

session (9.00-12.30) Matchmaking

sessions(8.00-20.00)

pm

Matchmaking

sessions(14.00-20.00)



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code: #EDFThanks for your attention

and enjoy the networking event!

Don’t forget to answer the survey on slido!

It will just take 1 min of your time

and help us improve

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